DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

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Former SEC-registered adviser

S••••• H••• C•••••• P•••••••• L••

Former SEC-registered adviserMason, OhioCRD 161621SEC 801-73677IAPD
Latest filing May 5, 2015
First filing on the tape Feb 14, 2012 · 8 filings
RAUM
$1.2B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
10
$1.2B gross assets
History
8 filings and snapshots on the tape
RAUM$1.2B as of Mar 31, 2015
Mar 28, 2013$1.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2015
Mar 28, 20130 then
Employees (5.A)4 as of Mar 31, 2015
Mar 28, 20134 then
Private funds10 as of Mar 31, 2015
Mar 28, 201310 then
RAUM +4.1% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of May 5, 2015; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$60.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+4.1%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
Custody
$1.2B, 20 clientsreportedItem 9.A
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
20reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$1.2B for 20 clientsreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      10 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      S••••• H••• E•••••••• L•••Other Private Fund$504M8Feb 14, 2012
      S••••• H••• M••••• N••••••• L••Other Private Fund$253M8Feb 14, 2012
      S••••• H••• O•• L••Other Private Fund$171M3Feb 14, 2012
      S••••• H••• C••• M••••••••• L••Other Private Fund$90.1M1Feb 14, 2012
      S••••• H••• F•••• I•••••• L••Other Private Fund$37.2M7Feb 14, 2012
      S••••• H••• R••• R•••••• L••Other Private Fund$33.4M6Feb 14, 2012
      S••••• H••• P•••••• E••••• F••• I• L••Other Private Fund$31.2M7Feb 14, 2012
      S••••• H••• P•••••• C•••••• A••••••••• I•• L••Other Private Fund$17.5M3Feb 14, 2012
      S••••• H••• M••••• G•••••• L••Other Private Fund$13.5M1Feb 14, 2012
      S••••• H••• P•••••• C•••••• A••••••••• L••Other Private Fund$3.0M2Feb 14, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••••• T••••••• D••••• · Chief Investment Officercontrol
        since 02/2012 · owns less than 5%
      • H•••• J••• W••••• · Ccocontrol
        since 03/2015 · owns less than 5%
      • R••••••• R••••••• L•••• · President/Ceocontrol
        since 09/2009 · owns less than 5%
      • R••••••• R••••••• L•••• · Trusteecontrol
        since 02/2012 · owns F of C••• S•••• T••••
      Entity owners
      • S••••• H•••• I••• · Managing Member
        direct · owns 75% or more
      • C••• S•••• T•••• · Shareholder
        indirect · owns 75% or more of S••••• H•••• I•••
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 21 to 20
        Apr 28, 2014 to Mar 31, 2015
      • Assets in custody · $1.2B to $1.2B
        Apr 28, 2014 to Mar 31, 2015
      • Discretionary RAUM · $1.2B to $1.2B
        Apr 28, 2014 to Mar 31, 2015
      • RAUM · $1.2B to $1.2B
        Apr 28, 2014 to Mar 31, 2015
      • Related bank · false to true
        Apr 28, 2014 to Mar 31, 2015
      • Advisory activities · 3 to 4
        Apr 29, 2013 to Mar 27, 2014
      • Assets in custody · unset to 1153563000.0
        Apr 29, 2013 to Mar 27, 2014
      • Custody of client assets · false to true
        Apr 29, 2013 to Mar 27, 2014
      • Discretionary RAUM · $1.1B to $1.2B
        Apr 29, 2013 to Mar 27, 2014
      • RAUM · $1.1B to $1.2B
        Apr 29, 2013 to Mar 27, 2014
      • Related bank · true to false
        Apr 29, 2013 to Mar 27, 2014
      • Advisory employees · unset to 2.0
        Feb 14, 2012 to Mar 28, 2013
      • BD registered reps · unset to 0.0
        Feb 14, 2012 to Mar 28, 2013
      • Employees · unset to 4.0
        Feb 14, 2012 to Mar 28, 2013
      • State-registered IARs · unset to 0.0
        Feb 14, 2012 to Mar 28, 2013
      • Discretionary RAUM · $1.0B to $1.1B
        Feb 14, 2012 to Mar 28, 2013
      • RAUM · $1.0B to $1.1B
        Feb 14, 2012 to Mar 28, 2013
      • Related bank · false to true
        Feb 14, 2012 to Mar 28, 2013
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      Provenance
      Form ADV
      SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
      Advisors
      IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
      Class
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026